Other Information. 179 Daiwa Securities Group Inc. Corporate Data. 179 Stock Information. 180 Organization and Officers. 184 Domestic Group Companies
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1 Other Information 179 Daiwa Securities Group Inc. Corporate Data 179 Stock Information 180 Organization and Officers 184 Domestic Group Companies 185 Overseas Group Companies 178 Daiwa Securities Group Integrated Report 2016
2 Daiwa Securities Group Inc. Corporate Data Head Office 9-1, Marunouchi 1-chome, Chiyoda-ku, Tokyo , Japan Tel: (81) Website Commencement of Operations May 1, 1902 Date of Founding December 27, , Stock Information Common Stock Issued and Outstanding 1,749,378,772 shares (as of March 31, 2016) Number of Shareholders 121,067 (as of March 31, 2016) Independent Public Accountant KPMG AZSA LLC Stock Exchange Listings Tokyo, Nagoya 1. Stock Price and Trading Volume on the Tokyo Stock Exchange (April 1, 2015 March 31, 2016) (Yen) Stock price (left) Transfer Agent and Registrar Sumitomo Mitsui Trust Bank, Limited Stock Transfer Agency Department 1-4-1, Marunouchi, Chiyoda-ku, Tokyo , Japan For further information, please contact: Daiwa Securities Group Inc. Investor Relations Office Tel: (81) Fax: (81) URL: (Thousand shares) 400, , ,000 Financial Section Other Information Trading volume (right) , /15 5/15 6/15 7/15 8/15 9/15 10/15 11/15 12/15 1/16 2/16 3/16 (Month/year) 0 2. Major Shareholders (As of March 31, 2016) Name Number of shares held (Thousands) % of total outstanding shares STATE STREET BANK AND TRUST COMPANY , The Master Trust Bank of Japan, Ltd. (Trust Account) 63, Japan Trustee Services Bank, Ltd. (Trust Account) 63, Barclays Securities Japan Limited 34, Sumitomo Mitsui Banking Corporation 30, STATE STREET BANK AND TRUST COMPANY , Japan Trustee Services Bank, Ltd. Sumitomo Mitsui Trust Pension Account 24, Taiyo Life Insurance Company 24, Japan Trustee Services Bank, Ltd. (Trust Account 7) 23, THE BANK OF NEW YORK MELLON SA/NV 10 22, Notes: 1. Treasury stock of 57,043,140 shares is excluded for calculating the percentage of the above list of major shareholders. 2. The Company holds its own shares as treasury stock (57,043 thousand shares) as of March 31, 2016 and those shares are excluded from the above list of major shareholders. 3. Stock Price on the Tokyo Stock Exchange (April 1, 2015 March 31, 2016) Open High Low Close , Average daily trading volume 9,381 thousand shares 4. Breakdown of Shareholders (As of March 31, 2016) 39.3% 7.4% 20.8% 28.7% Japanese individuals Japanese financial institutions and insurance companies Other Japanese corporations Foreign corporations and individuals Others 3.8% Daiwa Securities Group Integrated Report
3 Organization and Officers Daiwa Securities Group Inc. 1) Organization (As of July 1, 2016) Shareholders Meeting Nominating Committee Board of s Executive Management Committee Audit Committee Compensation Committee Outside s Council Group Risk Management Committee Disclosure Committee Group IT Strategy Committee Overseas Management Committee Office of the Audit Committee Representative Executive Officer Group Internal Audit Committee Internal Audit Dept. Executive Office Human Resources Dept. Corporate Planning Dept. International Business Planning Dept. Compliance Control Dept. Compliance Dept. Corporate Communication Dept. Investor Relations Office Finance Dept. Treasury Dept. Information Technology Dept. Advanced IT Strategy Dept. Risk Management Dept. Business Process Planning and Administration Dept. General Affairs Dept. Mental Health Support Office 180 Daiwa Securities Group Integrated Report 2016
4 2) Officers (As of July 1, 2016) s (Members of the Board) Committee Members Corporate Executive Officers Executive Officers Chairman of the Board Seiji Nakata Shinya Nishio Toshihiro Matsui Keiko Tashiro Mikita Komatsu Morimasa Matsuda Outside Nobuko Matsubara Outside Keiichi Tadaki Outside Tadashi Onodera Outside Michiaki Ogasawara Outside Hirotaka Takeuchi Outside Ikuo Nishikawa Nominating Committee (Chairman) Nobuko Matsubara Keiichi Tadaki Tadashi Onodera Michiaki Ogasawara Hirotaka Takeuchi Audit Committee Keiichi Tadaki (Chairman) Morimasa Matsuda Nobuko Matsubara Michiaki Ogasawara Ikuo Nishikawa Compensation Committee Hirotaka Takeuchi (Chairman) Tadashi Onodera Ikuo Nishikawa President and CEO and COO Seiji Nakata Shinya Nishio Nobuyuki Iwamoto Yoriyuki Kusaki Toshihiro Matsui Keiko Tashiro and CFO Mikita Komatsu and CIO Masahisa Nakagawa and CRO Hiroyuki Inose Masaru Shirataki Yoshihisa Kaneko Atsushi Mochizuki Senior Managing Yoshimasa Nagase Koichi Matsushita Hironori Oka Takayuki Sawano Senior Managing Junichi Arihara Senior Managing Akihiko Ogino Senior Managing Tomoyuki Murase Financial Section Other Information Daiwa Securities Group Integrated Report
5 Organization and Officers Daiwa Securities Co. Ltd. 1) Organization (As of July 1, 2016) Shareholders Meeting Board of s Audit & Supervisory Board Audit & Supervisory Board Members Audit & Supervisory Board Members Office Management Committee Executive Committee IT Strategy Committee Legal Affairs & Compliance Committee (Internal Audit Officer) Risk Management Committee Internal Audit Dept. (Compliance Officer) Compliance Control Dept. Compliance Dept. (Risk Management Officer) Risk Management Dept. Due Diligence Dept. (Executive Office Officer) (Corporate Planning Officer) (Legal Officer) (Head of Overseas Operations) Executive Office Corporate Planning Dept. International Business Planning Dept. (Human Resources Officer) Human Resources Dept. (Corporate Communication & Investor Relations Officer) Corporate Communication Dept. Investor Relations Office (Mental Health Support Officer) Mental Health Support Office (Finance Officer) Finance Dept. Treasury Dept. (Operations & IT Officer) Business Process Planning and Administration Dept. Information Technology Dept. Advanced IT Strategy Dept. Operations Dept. (General Affairs Officer) General Affairs Dept. (Head of Research) Equity Research Dept. Investment Strategy Dept. Research Production Dept. Global Markets Division (Head of Global Markets Division) (Head of Equity) (Head of Fixed Income, Currency and Commodities) Equity Sales Dept. Corporate Access Dept. Global Equity Sales Dept. (I) Global Equity Sales Dept. (II) Global Equity Trading Dept. Equity Dept. Global Markets Trading Dept. Global Markets Planning Dept. Structured Products Dept. Global Markets Administration Dept. Fixed Income, Currency and Commodities (FICC) Research Dept. Fixed Income Sales Dept. Fixed Income, Currency and Commodities (FICC) Dept. Fixed Income, Currency and Commodities (FICC) Bond Trading Dept. Foreign Bond Trading and Foreign Exchange Dept. Fixed Income, Currency and Commodities (FICC) Sales Dept. (I) Fixed Income, Currency and Commodities (FICC) Sales Dept. (II) (Superior Head of Global Investment Banking Division) (Superior Head of Corporate Business Division) Global Investment Banking Division (Head of Global Investment Banking Division) Corporate Business Division (Head of Corporate Business Division) (Deputy Head of Corporate Business Division) (Head of Global Investment Banking) (Head of Corporate Business Planning) (Head of Corporate Clients Banking) (Head of Financial & Public Institutions Banking) (Head of Corporate Clients Marketing) Equity Capital Markets Dept. Debt Capital Markets Dept. Strategic Advisory Dept. (M&A) (I) Strategic Advisory Dept. (M&A) (II) Strategic Advisory Dept. (M&A) (III) Osaka Capital Markets Dept. Initial Public Offering Dept. Investment Banking Solution Dept. Corporate Business Planning Dept. Real Estate & REIT Sector Dept. Corporate Finance Dept. (I) Corporate Finance Dept. (II) Corporate Clients Banking Dept. (I) Corporate Clients Banking Dept. (II) Corporate Clients Banking Dept. (III) Corporate Clients Banking Dept. (IV) Corporate Clients Banking Dept. (V) Corporate Clients Banking Dept. (VI) Corporate Clients Banking Dept. (Ⅶ) Financial Institutions Dept. Public Institutions Banking Dept. Corporate Clients Marketing Dept. (I) Corporate Clients Marketing Dept. (II) Corporate Clients Marketing Dept. (III) (Head of Osaka Corporate Business) Osaka Corporate Clients Marketing Dept. Osaka Corporate Clients Banking Dept. (I) Osaka Corporate Clients Banking Dept. (II) (Head of Nagoya Corporate Business) Nagoya Corporate Clients Marketing Dept. Nagoya Corporate Clients Banking Dept. (Superior Head of Product Solution Division) Product Solution Division (Head of Product Solution Division) (Head of Product Solution) Life Plan Business Dept. Defined Contribution Pension Business Dept. Wrap Consulting Dept. Wrap & Fund Business Dept. Loan Business Dept. Banking Business Dept. Insurance Consulting Dept. Investment Trust Promotion Dept. Wealth Management Dept. (Head of Retail Marketing Strategy) Data Management Dept. Retail Marketing Strategy Dept. Retail Marketing Promotion Dept. (Head of Regional Corporate Clients Banking) Regional Corporate Clients Banking Dept. (I) Regional Corporate Clients Banking Dept. (II) (Superior Head of Retail Marketing Division) Retail Marketing Division (Head of Retail Marketing Division) (Deputy Head of Retail Marketing Division) (Head of Private Banking) (Head of Regional Marketing) Private Banking Dept. Tokyo Sales Office Kyoto Branch Groups (of Branches) (Head of Daiwa Direct Business) Daiwa Direct Planning Dept. Tokyo Contact Center Dept. Osaka Contact Center Dept. Daiwa Direct Administration Dept. 182 Daiwa Securities Group Integrated Report 2016
6 2) Officers (As of July 1, 2016) s (Members of the Board) Audit & Supervisory Board Members Executive Officers Chairman of the Board President Seiji Nakata Shinya Nishio Kazuo Takahashi Representative Senior Executive Managing Yoshimasa Nagase Koichi Matsushita Toshihiro Matsui Junichi Aizawa Kentaro Ito* Shuzo Takami Morimasa Matsuda Hiroshi Obayashi* * Outside Audit & Supervisory Board Member s Keisuke Natsume Masahiro Kobayashi Hiromi Uemura Yoshinori Matsumoto Sei Furuichi Masaru Shirataki Masataka Tsujimoto Hiroyuki Nomura Hiroshi Hara Yasushi Iwasaki Yoshihisa Kaneko Atsushi Mochizuki Naoto Shimomura Senior Managing s Masanori Tamura Akira Tachibana Akihiko Ogino Yoshifumi Otsuka Shinsuke Niizuma Tomoo Fujioka Kana Shirakawa Hirotaka Shirokawa Mitsuru Fujita Tomoyuki Murase Sungho Kang Toshiya Tadokoro Hiroko Sakurai Hiroki Ikeda Tomoki Igura Kei Sano Financial Section Other Information Koichi Maruo Noriaki Kusaka Yuichi Akai Keiko Tashiro Shinji Kawakami Mikita Komatsu Masahisa Nakagawa Tadao Sakashima Hiroyuki Inose Daiwa Securities Group Integrated Report
7 Domestic Group Companies (As of July 1, 2016) Daiwa Securities Co. Ltd. 9-1, Marunouchi 1-chome, Chiyoda-ku, Tokyo , Japan Tel: (81) Daiwa Asset Management Co. Ltd. 9-1, Marunouchi 1-chome, Chiyoda-ku, Tokyo , Japan Tel: (81) Daiwa Institute of Research Holdings Ltd. 15-6, Fuyuki, Koto-ku, Tokyo , Japan Tel: (81) Daiwa SB Investments Ltd. 2-1, Kasumigaseki 3-chome, Chiyoda-ku, Tokyo , Japan Tel: (81) Daiwa Securities Business Center Co. Ltd. 3-2, Toyo 2-chome, Koto-ku, Tokyo , Japan Tel: (81) Daiwa Property Co., Ltd. 2-1, Kyobashi 1-chome, Chuo-ku, Tokyo , Japan Tel: (81) Daiwa Next Bank, Ltd. 9-1, Marunouchi 1-chome, Chiyoda-ku, Tokyo , Japan Tel: (81) Daiwa Institute of Research Ltd. 15-6, Fuyuki, Koto-ku, Tokyo , Japan Tel: (81) Daiwa Institute of Research Business Innovation Ltd Eitai, Koto-ku, Tokyo , Japan Tel: (81) Daiwa Corporate Investment Co., Ltd. 9-1, Marunouchi 1-chome, Chiyoda-ku, Tokyo , Japan Tel: (81) Daiwa Securities SMBC Principal Investments Co. Ltd. 9-1, Marunouchi 1-chome, Chiyoda-ku, Tokyo , Japan Tel: (81) Daiwa Fund Consulting Co. Ltd. 9-1, Marunouchi 1-chome, Chiyoda-ku, Tokyo , Japan Tel: (81) Daiwa Real Estate Asset Management Co. Ltd. 2-1, Ginza 6-chome, Chuo-ku, Tokyo , Japan Tel: (81) Daiwa Investor Relations Co. Ltd. 2-1, Kyobashi 1-chome, Chuo-ku, Tokyo , Japan Tel: (81) Daiwa Securities Media Networks Co. Ltd. 9-1, Marunouchi 1-chome, Chiyoda-ku, Tokyo , Japan Tel: (81) Daiwa Office Services Co., Ltd. 2-1, Kyobashi 1-chome, Chuo-ku, Tokyo , Japan Tel: (81) HINODE SECURITIES CO., LTD. 2-14, Awajicho 2-chome, Chuo-ku, Osaka-shi, Osaka , Japan Tel: (81) Retela Crea Securities Co., Ltd. 2-1, Kyobashi 1-chome, Chuo-ku, Tokyo , Japan Tel: (81) Mi-Casa Asset Management Inc , Shinbashi 6-chome, Minato-ku, Tokyo , Japan Tel: (81) Daiwa PI Partners Co. Ltd. 9-1, Marunouchi 1-chome, Chiyoda-ku, Tokyo , Japan Tel: (81) Daiwa Securities Group Integrated Report 2016
8 Overseas Group Companies (As of July 1, 2016) Daiwa Securities Group Inc. Daiwa Capital Markets America Inc. New York Head Office Financial Square, 32 Old Slip, New York, NY 10005, U.S.A. Tel: (1) San Francisco Branch 555 California Street, Suite 3360, San Francisco, CA 94104, U.S.A. Tel: (1) Daiwa Capital Markets Europe Limited London Head Office 5 King William Street, London EC4N 7AX, United Kingdom Tel: (44) Paris Representative Office 17, rue de Surène Paris, France Tel: (33) Geneva Branch 50, rue du Rhône, P.O. Box 3198, 1211 Geneva 3, Switzerland Tel: (41) Bahrain Branch 31st Floor, East Tower, Bahrain World Trade Centre, P.O. Box 30069, Manama, Kingdom of Bahrain Tel: (973) Moscow Representative Office Midland Plaza, 10, Arbat Street Moscow , Russian Federation Tel: (7) Daiwa Corporate Advisory Limited (UK) 5 King William Street, London EC4N 7DA, United Kingdom Tel: (44) Daiwa Corporate Advisory GmbH (Germany) Neue Mainzer Str. 1, Frankfurt am Main, Federal Republic of Germany Tel: (49) Daiwa Corporate Advisory SAS (France) 17, rue de Surène Paris, France Tel: (33) Daiwa Capital Markets Hong Kong Limited One Pacific Place, 88 Queensway, Hong Kong Tel: (852) Daiwa Capital Markets Singapore Limited 6 Shenton Way #26-08, OUE Downtown Two, Singapore , Republic of Singapore Tel: (65) Daiwa Securities Capital Markets Korea Co., Ltd. One IFC, 10 Gukjegeumyung-Ro, Yeongdeungpo-Gu, Seoul, Korea Tel: (82) Daiwa-Cathay Capital Markets Co., Ltd. 200, Keelung Road, Sec. 1, Taipei, Taiwan, R.O.C. Tel: (886) DBP-Daiwa Capital Markets Philippines, Inc. Citibank Tower, 8741 Paseo de Roxas, Salcedo Village, Makati City, Philippines Tel: (632) Daiwa Capital Markets India Private Limited 3, North Avenue, Maker Maxity, Bandra-Kurla Complex, Bandra East, Mumbai , India Tel: (91) Daiwa Capital Markets Australia Limited Level 34, Rialto North Tower, 525 Collins Street, Melbourne, Victoria 3000, Australia Tel: (61) Daiwa (Shanghai) Corporate Strategic Advisory Co. Ltd. Room 022, 44/F, Hang Seng Bank Tower, 1000 Lujiazui Ring Road, Pudong, Shanghai, China Tel: (86) Myanmar Securities Exchange Centre Co., Ltd. 1st Floor MEB (H.O) Bldg Sule Pagoda Road, Yangon, Myanmar Tel: (95) Financial Section Other Information Daiwa Securities Co. Ltd. Beijing Representative Office Room 301/302, North Tower, Beijing Kerry Centre, No. 1 Guanghua Road, Chaoyang District, Beijing, China Tel: (86) Bangkok Representative Office M.Thai Tower, All Seasons Place, 87 Wireless Road, Lumpini, Pathumwan, Bangkok 10330, Thailand Tel: (66) Hanoi Representative Office 1306 Pacific Place Building, 83B Ly Thuong Kiet Street, Hoan Kiem District, Hanoi, Vietnam Tel: (84) Daiwa Securities Group Integrated Report
158 Other Information
158 Other Information 159 Daiwa Securities Group Inc. Corporate Data 159 Stock Information 160 Organization and Officers 164 Domestic Group Companies 165 Overseas Group Companies Other Information 159
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